Alex James, formerly of Allstate Financial Services, Under Investigation by FINRA for Undisclosed Outside Business Activities

Alex James (CRD#: 5630825), a former registered representative with Allstate Financial Services LLC (CRD#: 18272) in West Palm Beach, Florida, is currently being investigated by the Financial Industry Regulatory Authority (FINRA) for potentially undisclosed outside business activities, according to his BrokerCheck record accessed on March 16, 2020.  What happened to lead to this FINRA investigation?…

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Robert Beck Terminated from Morgan Stanley

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that former Pennsylvania-based Morgan Stanley broker Robert Beck is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding…

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Daniel Miller (Growth Capital Services) Sanctioned and Fined by FINRA

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that former California-based Growth Capital Services broker Daniel Miller has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miller (CRD# 5551362). Daniel Miller has…

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Jim Seol (Ameriprise) Facing FINRA Complaint

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that former California-based Ameriprise broker Jim Seol has been named in a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Seol (CRD# 2876279). Jim Seol…

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Zahir Walji (Oppenheimer) Has Regulatory Sanction

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former Texas-based Oppenheimer broker Zahir Walji is currently not registered to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding…

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John Furkioti Sanctioned for Compliance Violation

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2016 indicate that former Michigan-based First American Securities broker John Furkioti has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Furkioti (CRD# 5005622). John Furkioti…

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James Goetz Discharged from Merrill Lynch

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2016 indicate that New York-based Stifel Nicolaus broker/adviser James Goetz, Jr. is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Goetz (CRD# 2826111).…

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Randall Skrabonja Terminated From MetLife

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 9, 2016 indicate that Florida-based Sagepoint Financial broker Randall Skrabonja was discharged from his former position at MetLife Securities. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Skrabonja (CRD# 1858245). Randall…

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Ben Gregg Received Two Regulatory Sanctions

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that former Tennessee-based Allstate Financial Services broker Douglas Gregg, also known as Ben Gregg, has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr.…

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